-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Rlb4y98lguaAr8xT/HNRQE+DimCcWPe//jQNxwGwvor5t6ap7KznhY0h8xuPk62i RjyzLQaYvD8dfVNSXVQmEg== 0000910643-98-000027.txt : 19980317 0000910643-98-000027.hdr.sgml : 19980317 ACCESSION NUMBER: 0000910643-98-000027 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980131 FILED AS OF DATE: 19980313 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BARNES & NOBLE INC CENTRAL INDEX KEY: 0000890491 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] IRS NUMBER: 061196501 STATE OF INCORPORATION: DE FISCAL YEAR END: 0129 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 001-12302 FILM NUMBER: 98565587 BUSINESS ADDRESS: STREET 1: 1400 OLD COUNTRY ROAD CITY: WESTBURY STATE: NY ZIP: 11590-5130 BUSINESS PHONE: 5163388119 MAIL ADDRESS: STREET 1: 1400 OLD COUNTRY ROAD CITY: WESTBURY STATE: NY ZIP: 590-5130 COMPANY DATA: COMPANY CONFORMED NAME: RIGGIO STEPHEN CENTRAL INDEX KEY: 0001038850 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: C/O BARNES & NOBLE INC STREET 2: 122 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10011 MAIL ADDRESS: STREET 1: C/O BARNES & NOBLE INC STREET 2: 122 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10011 5 1 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 / / Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). / / Form 3 Holdings Reported / / Form 4 Transactions Reported. 1. Name and Address of Reporting Person* Riggio Stephen (Last) (First) (Middle) c/o Barnes & Noble, Inc. 122 Fifth Avenue (Street) New York New York 10011 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Barnes & Noble, Inc. (Symbol = BKS) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year 1/31/98 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) /X/ Director / / 10% Owner /X/ Officer (give title below) / / Other (Specify below) Vice Chairman 7. Individual or Joint/Group Filing (Check applicable line) /X/ Form Filed by one Reporting Person / / Form Filed by more than one Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 5. Amount of Securi- ties Bene- ficially 4. Securities Acquired (A) Owned at 6. Owner- 2. Trans- 3. Trans- or Disposed of (D) End of ship action action (Instr. 3, 4 and 5) Issuer's Form: 7. Nature of Date Code --------------------------- Fiscal (D) or Indirect Month/ (Instr. 8) (A) Year Indirect Beneficial 1. Title of Security Day/ ---------- Amount or Price (Instr. (I) Ownership (Instr.3) Year) Code (D) 3 and 4) (Instr. 4) (Instr. 4) - ----------------------------- --------- ---------- -------- --- -------- ------------ ------------- -------------
* If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly of indirectly. (Print or Type Responses)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 2. Conver- 5. Number of Deriv- 6. Date Exercisable sion or 3. Trans- ative Securities and Expiration Date Exercise action Acquired (A) or (Month/Day/Year) Price of Date 4. Trans- Disposed of (D) ----------------------- Deriv- (Month/ action (Instr. 3, 4, and 5) Date 1. Title of Derivative Security ative Day/ Code ----------------------- Exercis- Expiration (Instr. 3) Security Year) (Instr. 8) A D able Date - ---------------------------------- ----------- ---------- ------------ ----------- ----------- ---------- ---------- Stock Option (Right to Buy)(1) $34.25(2) 4/4/97 A 107,650(2) (3) 4/3/07
9. Number of 10. Ownership Derivative Form of 7. Title and Amount of Underlying Securities Derivative Securities (Instr. 3 and 4) Benefi- Direct 11. Nature of --------------------------------- 8. Price of cially (D) or Indirect Amount or Derivative at End Indirect Beneficial 1. Title of Derivative Title Number of Security of Year (I) Ownership Security (Instr. 3) Shares (Instr. 5) (Instr. 4) (Instr. 4) (Instr. 4) - ---------------------- -------------------- --------- ------------- ------------- -------------- -------------- Common Stock 107,650(2) -- 2,353,242(4) D
Explanation of Responses (1) Issued pursuant to Issuer's 1996 Incentive Plan. (2) As a result of the two-for-one stock split effected by the Issuer on September 22, 1997, this stock option now represents the right to buy 215,300 shares of Common Stock at an exercise price of $17.125 per share. (3) One-fourth of these options become exercisable on April 4 of each of the years 1998 through 2001. (4) This amount represents the total number of stock options (right to buy) beneficially owned by the Reporting Person with respect to the Issuer's Common Stock, and reflects the two-for-one stock split effected by the Issuer on September 22, 1997. By: /s/ Stephen Riggio Date: March 12, 1998 ------------------------------- -------------------- **Signature of Reporting Person Stephen Riggio ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----